Method of processing misoriented items in an image-based item processing system and an apparatus therefor

ABSTRACT

A check processing system comprises an image lift device which is provided for lifting an image of a check as the check is being transported along a check feed path. A MICR reader is provided for reading a MICR codeline from the check as the check is transported along the check feed path past the MICR reader. The image of the check is reoriented when the MICR reader is unable to read a MICR codeline from the image of the check due to misorientation of the check along the check feed path.

BACKGROUND OF THE INVENTION

The present invention relates to processing items in an image-based itemprocessing system, and is particularly directed to processing images ofmisoriented items in an image-based item processing system, such as animage-based check processing system, to provide assistance to anoperator of the image-based check processing system.

A typical image-based check processing system includes a number ofdifferent types of workstations. The different types of workstations mayinclude a document preparation workstation, an image captureworkstation, a recognition workstation, a keying and balancingworkstation, and an encoding workstation. Items such as bank checks areinitially prepared at the document preparation workstation (e.g.,removing staples, paper clips, and the like) for further processing atworkstations downstream from the document preparation workstation. Eachprepared item is fed along a document feed path of the image captureworkstation which captures front and rear images of the item. The imagecapture workstation creates units of work and submits the created workto a workflow manager in a known way.

Workstations downstream from the image capture workstation poll theworkflow manager in a known manner for work to perform, and may alsocreate units of work which are submitted back to the workflow manager.The different workstations downstream from the image capture workstationprocess the front and rear images of each item. More specifically, thefront and rear images of each item are sent to the recognitionworkstation which provides recognition results associated with the item.Operation of each workstation downstream from the recognitionworkstation, such as the keying and balancing workstation, and theencoding workstation, depends upon the recognition results provided bythe recognition workstation.

The typical image-based check processing system further includes a MICRreader which is used to read a codeline from each item. The image-basedcheck processing system may include an OCR reader which is used to reada codeline from an item in the form of an envelope which contains adamaged check, for example. In some known image-based check processingsystems, the MICR reader provides a trigger signal when the MICR readerreads a particular codeline which indicates that the item which ismoving along the document feed path is an envelope containing a damagedcheck. The trigger signal from the MICR reader is provided to activatethe OCR reader. When the OCR reader is activated, the OCR readerattempts to read the codeline of the damaged check contained in theenvelope which is moving along the document feed path. The OCR readermay be controlled via hardware and/or firmware associated with the OCRreader in its attempt to read the codeline of the damaged checkcontained in the envelope which is moving along the document feed path.

If the OCR reader is unable to read the codeline of an item (i.e., checkor envelope, for example) which is moving along the document feed path,then a possibility exists that the item is physically misoriented alongthe document feed path. If no codeline is read because the item isphysically misoriented along the document feed path, then the item isrejected and a corresponding misoriented front image of the item isusually displayed on a display screen at the keying and balancingworkstation for viewing by a human operator. The human operator may thenmanually press a “FLIP” key or a “ROTATE” key on a keyboard at thekeying and balancing workstation to reorient the front image of the itemappearing on the display screen so that it is displayed in correctorientation on the display screen. After the front image of the item isdisplayed in correct orientation on the display screen, the humanoperator manually keys in the codeline of the item. Depending upon thenumber of items actually rejected due to misorientation problems, theamount of time and labor required by the human operator to correctorientation of misoriented items and then to manually key in codelinescould be significant and, therefore, relatively costly.

SUMMARY OF THE INVENTION

In accordance with one aspect of the present invention, a method ofprocessing misoriented documents in an image-based document processingsystem comprises the steps of (a) capturing an image of a document asthe document is being transported along a document feed path, (b)reading a codeline from the document captured in step (a), and (c)reorienting the image of the document when the codeline is unable to beread in step (b).

Preferably, a MICR reader is actuated in an attempt to read thecodeline. The image of the document captured in step (a) may be flippedfrom upside down to rightside up to a correct orientation.Alternatively, the image of the document captured in step (a) may berotated to reverse front and rears sides of the image to a correctorientation.

In accordance with another aspect of the present invention, a checkprocessing system comprises means defining a check feed path. An imagelift device is provide for lifting an image of a check as the check isbeing transported along the check feed path. A reader is provided forreading a codeline from the check as the check is being transportedalong the check feed path past the reader. A processor executes aprogram to reorient the image of the check when the reader is unable toread a codeline from the check due to misorientation of the check alongthe check feed path. Preferably, the reader is a MICR reader for readinga MICR codeline from the check.

BRIEF DESCRIPTION OF THE DRAWINGS

The foregoing and other features of the present invention will becomeapparent to one skilled in the art to which the present inventionrelates upon consideration of the following description of the inventionwith reference to the accompanying drawings, wherein:

FIG. 1 is a schematic block representation of an image-based checkprocessing system embodying the present invention;

FIG. 2 is a schematic block representation of an image captureworkstation in the image-based check processing system of FIG. 1;

FIG. 3 is a front view of a check having a codeline thereon; and

FIG. 4 is a flowchart depicting program steps which can be carried outby the image-based check processing system of FIG. 1 to process thecheck of FIG. 3 in accordance with the present invention.

DETAILS OF THE INVENTION

The present invention is directed to processing images of misorienteditems in an image-based item processing system to provide assistance toa human operator during operation of the image-based item processingsystem. The specific use of the method and apparatus described in thepresent application may vary. By way of example, an image-based itemprocessing system in the form of an image-based check processing system10 embodying the present invention is illustrated in FIG. 1.

The image-based check processing system 10 comprises different types ofworkstations including a document preparation workstation 12, an imagecapture workstation 14, a recognition workstation 16, a keying andbalancing workstation 18, and an encoding workstation 20. At thedocument preparation workstation 12, transaction items including anumber of debit items and a number of credit items associated with eachtransaction are prepared for further processing downstream from thedocument preparation workstation 12. Typical transaction items includechecks, deposit slips, and carrier documents (i.e., envelopes) whichcarry damaged checks. Preparation of the transaction items may includeremoval of paper clips, staples, and the like, and stacking of the itemsin a particular order and/or direction in suitable trays. The trayscontaining the stacked items are then manually carted to the imagecapture workstation 14.

The image capture workstation 14 creates units of work and submits thecreated work to a workflow manager 30 in a known way. As shown in FIG.1, the workflow manager 30 resides in non-volatile memory in a baseprocessor unit 28 of the image-based check processing system 10. Each ofthe workstations 16, 18, 20, 22 polls the workflow manager 30 is a knownmanner for work to perform, and may also create units of work which issubmitted back to the workflow manager 30.

Referring to FIG. 2, the image capture workstation 14 includes adocument hopper 50 into which stacked items from the trays can be placedso that the items can be transported along a document feed path of theimage capture workstation 14. The image capture workstation 14 alsoincludes a document hand-drop 52 into which single items can be manuallyplaced by a human operator so that the item can be merged into and thentransported along the document feed path. The image capture workstation14 further includes a number of different devices which lie along thedocument feed path. As shown in FIG. 2, the image capture workstation 14includes an image lift module 54, a MICR reader 56, an OCR reader 58, anendorser 60, and a microfilmer 62, all of which lie along the documentfeed path. A pocket module 64 is disposed at the end of the documentfeed path. The pocket module 64 has a number of sorter pockets (notshown) for receiving and pocketing items which have been processed alongthe document feed path by the different devices along the document feedpath.

During operation of the image capture workstation 14, the stacked itemsin the trays are manually removed from the trays and placed into thedocument hopper 50. A transport mechanism (not shown) picks itemsone-by-one from the document hopper 50 and transports the picked itemsalong the document feed path of the image capture workstation 14 in aknown manner. Each device lying along the document feed path processeseach item transported along the document feed path in a manner describedhereinbelow.

When an item such as a bank check 70 shown in FIG. 3, a front image liftcamera (not shown) of the image lift module 54 lifts an image of thefront side of the check. More specifically, the image lift cameraoptically scans the front side of the check 70 as the check moves alongthe document feed path past the image lift camera to produce a frontelectronic image of the check. The front image of the check 70 is storedin a memory unit 31. Other items (deposit slips or control documentsincluding batch headers, for example) are processed in the same manner.It is contemplated that a rear image lift camera may also be used tolift an image of the rear of the check 70. However, for simplicity, itis assumed that only an image of the front side of the check 70 islifted and processed, as described hereinbelow.

If the item moving downstream along the document feed path is in theform of an envelope which contains a damaged check, for example, theMICR reader 56 is unable to read a MICR codeline. The envelopecontaining the damaged check continues moving downstream along thedocument feed path. As the envelope continues to move further downstreamalong the document feed path, the OCR reader 58 attempts to read acodeline of the damaged check contained in the envelope. The OCR reader58 is controlled via hardware and/or firmware associated with the OCRreader to read the codeline from the damaged check contained in theenvelope.

If the item moving downstream along the document feed path is a checksuch as the check shown in FIG. 3, the MICR reader 56 reads a MICRcodeline at the bottom of the check as the check passes by the MICRreader 56. Information from the MICR codeline of the check 70 includinga unique sequence number is associated with the front image of the checkand is also stored in the memory unit 31. Accordingly, the front imageof the check 70 is stored in the memory unit 31 along with a uniquesequence number.

The endorser 60 prints a suitable endorsement onto the check 70 as thecheck continues to move further downstream along the document feed pathpast the endorser 60. An endorsement status associated with the check 70is then stored in the memory unit 31 along with the other informationassociated with the check. Also, the microfilmer 62 microfilms the check70 as the check continues to move along the document feed path past themicrofilmer 62. A microfilm status associated with the check 70 is thenstored in the memory unit 31 along with the other information associatedwith the check.

After the front image of the check 70 is lifted by the image lift cameraand the electronic image, the sequence number, and the MICR codeline arestored in the memory unit 31, and the check is endorsed and microfilmed,the check is sorted into an appropriate sorter pocket of the pocketmodule 64. Preferably, the image capture workstation 14 includes theModel 7780 Item Processing System, manufactured by NCR Corporation,located in Dayton, Ohio. The sorted checks in each of the sorter pocketsare stacked in a respective tray. The trays containing the stackedchecks are then manually carted to the encoding workstation 20 (FIG. 1).

During operation of the encoding workstation 20, the stacked checks inthe trays are manually removed from the trays and placed into a documenthopper (not shown) similar to the document hopper 50 of the imagecapture workstation 14 shown in FIG. 2. Each check is encoded in a knownmanner. Preferably, the image capture workstation 14 also includes theModel 7780 Item Processing System, manufactured by NCR Corporation,located in Dayton, Ohio. An encoder status associated with each check isalso stored in the memory unit 31 along with the other informationassociated with the check.

The front electronic image, the sequence number, and the MICR codelineof the check 70 which were earlier obtained and stored in the memoryunit 31 at the image capture workstation 14 is processed by therecognition workstation 16 and the keying and balancing workstation 18in the manner described hereinbelow. At the recognition workstation 16,the front electronic image of each check stored in the memory unit 31 isprocessed using known recognition techniques to determine the “amount”associated with the check. The amount of the check is then associatedwith the corresponding front electronic image and the MICR codeline ofthe check and stored in the memory unit 31.

A one-to-one correspondence is thereby established between the frontelectronic image, the sequence number, the MICR codeline, theendorsement status, the encoder status, and the microfilm status of thecheck and the amount associated with that particular check. Accordingly,a database containing the front electronic image, the sequence number,the MICR codeline, the endorsement status, the encoder status, themicrofilm status, and the amount associated with each check is therebycreated and stored in the memory unit 31.

From time to time, it is possible that a check may be incorrectlyoriented along the document feed path. When this occurs, the front imageof the check 70 would be incorrectly oriented. The front image of thecheck 70 may be upside down (i.e., turned 180 degrees along itslengthwise dimension).

When the front image of the check 70 is upside down, a method inaccordance with the present invention is provided to correct theorientation of the front image of the check without having to physicallylocate the check in one of the sorter pockets of the pocket module 64and then reprocess the check by feeding it back through the imagecapture workstation 14. More specifically, after the image lift module54 captures the front image of a check, an executable image reorientingprogram for reorienting the front image of the check in accordance withthe present invention is executed.

Referring to FIG. 4, a flowchart 100 depicts steps of the imagereorienting program of the present invention which is initiatedimmediately after the image lift module 54 captures the front image of acheck such as the check 70 of FIG. 3. In step 102, a front image of thecheck is captured by the image lift module 54. The MICR reader 56 isthen actuated in step 104 to make an attempt to read a MICR codelinefrom the bottom of the check. The program proceeds to step 106 in whicha determination is made as to whether or not the MICR reader 56successfully read a MICR codeline from the bottom of the check.

If the determination in step 106 is affirmative, then the programproceeds to step 116 in which the recognition workstation 16 makes anattempt to recognize the codeline of the check based upon the frontimage data which was captured in step 102. However, if the determinationin step 106 is negative, then the program proceeds to step 108 in whichthe front image of the check is reoriented to correct orientation. Morespecifically, the front image of the check is “flipped” 180 degreesalong its lengthwise dimension.

After the front image of the check has been flipped, software associatedwith the OCR reader 58 is executed, as shown in step 110. When softwareassociated with the OCR reader 58 is executed, an attempt is made toread a codeline from the front image data which was captured in step102. The program then proceeds to step 112 in which a determination ismade as to whether the software associated with the OCR reader 58successfully read a codeline based upon the front image data which wascaptured in step 102.

If the determination in step 112 is affirmative, then the programproceeds to step 116 in which the recognition workstation 16 makes anattempt to recognize the codeline of the check based upon the frontimage data which was captured in step 102. If the determination in step112 is negative, then the program proceeds to step 114 in which adetermination is made as to whether any other orientations of the frontimage of the check remain which have not yet been tried. If thedetermination in step 114 is affirmative, then the program returns backto step 108 to again change orientation of the front image of the check.However, if the determination in step 114 is negative, then the programproceeds to step 116 in which the recognition workstation 16 makes anattempt to recognize the codeline of the check based upon the frontimage data which was captured in step 102.

After the recognition workstation 16 makes an attempt to recognize theamount of the check in step 116, the program proceeds to step 118 inwhich a determination is made as to whether a codeline has beensuccessfully recognized. If the determination in step 118 is negative,then the program proceeds to step 124 in which the front image of thecheck is presented on a display screen of an image display terminal (notshown) at the keying and balancing workstation 18 in a known manner toallow a human operator to further process the front image of the checkmanually. For example, the human operator may press a “FLIP” key on akeyboard at the keying and balancing workstation 18 to reorient thefront image of the check appearing on the display screen so that it isdisplayed in correct orientation on the display screen for the humanoperator to view. The human operator may also then key in the codelineof the check in a known manner.

However, if the determination in step 118 is affirmative, then theprogram proceeds to step 120 in which a determination is made as towhether the codeline recognized in step 116 is being rejected. If thedetermination in step 120 is affirmative, then the program proceedsdirectly to step 124 to present the front image of the check on thedisplay screen of the image display terminal at the keying and balancingworkstation 18. If the determination in step 120 is negative, theprogram proceeds to step 122.

In step 122, a determination is made as to whether there are any otherfields on the check which still require keying in of information. If thedetermination in step 122 is negative, then the program proceedsdirectly to END. If the determination in step 122 is affirmative, theprogram proceeds to step 124 to present the front image of the check onthe display screen of the image display terminal at the keying andbalancing workstation 18 before proceeding to END.

A number of advantages result by providing improved assistance to ahuman operator during operation of the image capture workstation 14 inaccordance with the present invention. One advantage is that the amountof time and labor required of the human operator to manually key in MICRcodelines of checks is reduced. The amount of time and labor required tomanually key in MICR codelines of checks is reduced because no manualkeying in of a MICR codeline is needed to continue further processingdownstream from the image lift module 54 when the front image of thecheck is processed in accordance with the present invention. The MICRcodeline from the reoriented image can be read for purposes of furtherprocessing by other devices located downstream from the image liftmodule 54 and the MICR reader 56. The result is savings in time andlabor costs and increased throughput of checks.

Although the above describes an image-based check processing system inwhich upside down images of items may be “flipped” rightside up, it iscontemplated that over-turned images of items (i.e., items which havetheir front and rear sides reversed along the document feed path) may be“rotated” to their correct orientation. In this case, the image liftmodule 54 of the image capture workstation 14 would need to include arear image lift camera for lifting an image of the rear side of items aswell as the front image lift camera for lifting an image of the frontside of items. Also, in this case, a “ROTATE” key would be included onthe keyboard at the keying and balancing workstation 18.

From the above description of the invention, those skilled in the art towhich the present invention relates will perceive improvements, changesand modifications. Numerous substitutions and modifications can beundertaken without departing from the true spirit and scope of theinvention. Such improvements, changes and modifications within the skillof the art to which the present invention relates are intended to becovered by the appended claims.

1. A check processing apparatus comprising: means defining a check feedpath along which a check having a magnetic ink character recognition(MICR) codeline associated therewith can be transported from an upstreamend to a downstream end; ana first image lift device for capturing imagedata which is representative of an original image of the check as thecheck is transported from the upstream end of the check feed path to thedownstream end of the check feed path; a display for displaying the animage of the check to allow an operator to view the image of the check;a MICR reader for reading the MICR codeline of the check as the check istransported along the check feed path past the MICR reader; and aprocessor including means for which, without any operator intervention,processing processes the image data which is representative of theoriginal image of the check on the display to reorient the provide imagedata which is representative of a first reoriented image of the check toallow the operator to view at least one of the original image of thecheck or the first reoriented image of the check on the display when theMICR reader is unable to read the MICR codeline of the check due tomisorientation of the check along the check feed path as the check istransported from the upstream end of the check feed path to thedownstream end of the check feed path.
 2. A check processing apparatusaccording to claim 1, further comprising an optical characterrecognition (OCR) reader for reading the MICR codeline of the checkbased upon the captured image data which is representative of the firstreoriented image of the check after the image of the check on thedisplay has been reoriented .
 3. A check processing apparatus accordingto claim 2, further comprising an endorser for endorsing a check as thecheck is transported from the upstream end of the check feed path to thedownstream end of the check feed path.
 4. A check processing apparatusaccording to claim 1 2, wherein the processing means of the processorincludes means for, without any operator intervention, flipping theimage of the check on the display from an upside down orientation of theimage of the check to a rightside up orientation of the image of thecheck processes either the image data which is representative of theoriginal image of the check or the image data which is representative ofthe first reoriented image of the check to provide image data which isrepresentative of a second reoriented image of the check which isdifferent from the first reoriented image of the check to allow theoperator to view at least one of the original image of the check, thefirst reoriented image of the check, or the second reoriented image ofthe check on the display when the OCR reader is unable to read the MICRcodeline of the check based upon the image data which is representativeof the first reoriented image of the check.
 5. A check processingapparatus according to claim 1 2, wherein the processing means of theprocessor includes means for, without any operator intervention,rotating the image of the check on the display from a reverseorientation of the image of the check to a forward orientation of theimage of the check further comprising a second image lift device forcapturing image data which is representative of an original image of anopposite side of the check as the check is transported from the upstreamend of the check feed path to the downstream end of the check feed path,and wherein the OCR reader attempts to read the MICR codeline of thecheck based upon the image data which is representative of the originalimage of the opposite side of the check when the OCR reader is unable toread the MICR codeline of the check based upon the image data which isrepresentative of the first reoriented image of the check.
 6. A checkprocessing apparatus comprising: means defining a check feed path alongwhich a check having a magnetic ink character recognition (MICR)codeline associated therewith can be transported from an upstream end toa downstream end; ana first image lift device for capturing image datawhich is representative of an original image of the check as the checkis transported from the upstream end of the check feed path to thedownstream end of the check feed path; a display for displaying the animage of the check to allow an operator to view the image of the check;a MICR reader for reading the MICR codeline of the check as the check istransported along the check feed path past the reader; and a processorfor executing a software program to automatically reorient the image ofthe check on the display process the image data which is representativeof the original image of the check to provide image data which isrepresentative of a first reoriented image of the check when the MICRreader is unable to read the MICR codeline of the check due tomisorientation of the check along the check feed path as the check istransported from the upstream end of the check feed path to thedownstream end of the check feed path.
 7. A check processing apparatusaccording to claim 6, further comprising an optical characterrecognition (OCR) reader for reading the MICR codeline of the checkbased upon the captured image data which is representative of the firstreoriented image of the check after the image of the check on thedisplay has been reoriented .
 8. A check processing apparatus accordingto claim 7, further comprising an endorser for endorsing a check as thecheck is transported from the upstream end of the check feed path to thedownstream end of the check feed path.
 9. A check processing apparatusaccording to claim 6 7, wherein the processor includes means for ,without any operator intervention, flipping the image of the check onthe display from an upside down orientation of the image of the check toa rightside up orientation of the image of the check processes eitherthe image data which is representative of the original image of thecheck or the image data which is representative of the first reorientedimage of the check to provide image data which is representative of asecond reoriented image of the check which is different from the firstreoriented image of the check.
 10. A check processing apparatusaccording to claim 6 7, wherein the processor includes means for,without any operator intervention, rotating the image of the check onthe display from a reverse orientation of the image of the check to aforward orientation of the image of the check further comprising asecond image lift device for capturing image data which isrepresentative of an original image of an opposite side of the check asthe check is transported from the upstream end of the check feed path tothe downstream end of the check feed path, and wherein the OCR readerattempts to read the MICR codeline of the check based upon the imagedata which is representative of the original image of the opposite sideof the check when the OCR reader is unable to read the MICR codeline ofthe check based upon the image data which is representative of the firstreoriented image of the check.
 11. A computer-implemented method ofoperating a check processing apparatus having a check feed path and anumber of check processing devices disposed along the check feed path,the computer-implemented method comprising the steps of: (a)electronically on an image lift device capturing image data which isrepresentative of an original image of a check as the check istransported along the check feed path; (b) electronically on a displaydisplaying the an image of the check on a display to allow an operatorto view the image of the check; (c) electronically actuating a magneticink character recognition (MICR) reader to read a MICR codeline of thecheck as the check is transported along the check feed path; and (d)using a processor unit without any human operator intervention toprocess the image data which is representative of the original image ofthe check to reorient the image of the check on the display provideimage data which is representative of a first reoriented image of thecheck to allow the operator to view at least one of the original imageof the check or the reoriented image of the check on the display whenthe MICR codeline is unable to be read from the check in step (c).
 12. Acomputer-implemented method according to claim 11, further comprisingthe step of: (e) actuating an optical character recognition (OCR) readerto read the MICR codeline of the check based upon the captured imagedata which is representative of the first reoriented image of the checkafter the image of the check on the display has been reoriented in step(d) .
 13. A computer-implemented method according to claim 12, furthercomprising the step of: (f) endorsing a check as the check istransported from the upstream end of the check feed path to thedownstream end of the check feed path.
 14. A computer-implemented methodaccording to claim 11, wherein step (d) includes 12, further comprisingthe step of: (d-1 f) using the processor unit without any human operatorintervention to flip the image of the check on the display from anupside down orientation of the image of the check to a rightside uporientation of the image of the check process either the image datawhich is representative of the original image of the check or the imagedata which is representative of the first reoriented image of the checkto provide image data which is representative of a second reorientedimage of the check which is different from the first reoriented image ofthe check to allow the operator to view at least one of the originalimage of the check, the first reoriented image of the check, or thesecond reoriented image of the check on the display when the OCR readeris unable to read the MICR codeline of the check based upon the imagedata which is representative of the first reoriented image of the checkin step (e).
 15. A computer-implemented method according to claim 11,wherein step (d) includes 12, further comprising the steps of: (d-1)using the processor unit without any operator intervention to rotate theimage of the check on the display from a reverse orientation of theimage of the check to a forward orientation of the image of the check(f) capturing image data which is representative of an original image ofan opposite side of the check as the check is transported along thecheck feed path; and (g) actuating the OCR reader to read the MICRcodeline of the check based upon the image data which is representativeof the original image of the opposite side of the check when the OCRreader is unable to read the MICR codeline of the check based upon theimage data which is representative of the first reoriented image of thecheck.
 16. A computer-implemented method according to claim 15 , furthercomprising the step of: (h) using the processor unit without any humanoperator intervention to process the image data which is representativeof the original image of the opposite side of the check to provide imagedata which is representative of a reoriented image of the opposite sideof the check to allow the operator to view at least one of the originalimage of the check, the first reoriented image of the check, or thereoriented image of the opposite side of the check on the display whenthe OCR reader is unable to read the MICR codeline of the check basedupon the image data which is representative of the first reorientedimage of the check.